With 2025 underway, firms should be looking ahead and ensuring they’re prepared for the regulatory changes and enforcement trends shaping the year. The SEC and FINRA continue to emphasize fiduciary duty, cybersecurity, and marketing practices—areas that advisers can’t afford to overlook.
Here’s a preview of what you’ll find in our latest newsletter:
With regulatory scrutiny increasing, now is the time to review your firm’s policies, ensure compliance with new rules, and reinforce best practices. Are you ready for 2025? Read the full post to stay informed and ahead of the curve!